Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Fields is a financial advisor with over 23 years of experience in the financial services industry. He is currently registered with Raymond James & Associates, Inc. in Franklin, TN. His previous experience includes positions with WELLS FARGO CLEARING SERVICES, LLC in Nashville, TN and A.G. EDWARDS & SONS, INC. in Nashville, TN. He holds the Series 7, Series 31, Series 63 and Series 65 licenses. Thomas Fields offers a variety of financial services to clients, including financial planning, portfolio management, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TN
08/12/2019 - Present
Raymond James & Associates, Inc. (FRANKLIN TN)
TN
01/01/2008 - 08/07/2019
WELLS FARGO CLEARING SERVICES, LLC (NASHVILLE TN)
TN
08/20/1999 - 01/03/2008
A. G. EDWARDS & SONS, INC. (NASHVILLE TN)
NY
11/22/1995 - 07/23/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/08/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/30/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 11/21/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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